This quality management system (QMS) auditor evaluation criteria is formulated by CCAA according to the International Association for Auditor Training and Registration (IATCA) quality management system auditor evaluation criteria [PL-03-020(R2)], which completely covers all requirements of IATCA criteria and aims to provide a general basis for quality management system auditor registration.

This standard is formulated with reference to GB/T19011-2003 Standard "Guidelines for Auditing Quality and/or Environmental Management System", taking into account the national conditions of China and the requirements of enterprises, certification and accreditation bodies and government laws and regulations.

This standard is the basic basis for registering as an auditor of CCAA international quality management system.

CCAA meets the following requirements of IATCA for auditor registration institutions. In 1998, CCAA first signed the mutual recognition agreement for the approval and registration of IATCA-QMS auditor training courses, and has the right to grant the auditor registered by IATCA.

1. Member of American Transportation Association;

2. Operating the registered project of auditors;

3. Use acceptable procedures to verify the application of the registration applicant;

4. When operating its registered projects, comply with the applicable management and control processes, such as those specified in relevant ISO/IEC guidelines, other similar acceptable international standards and regulations of the International Air Transport Association, Memorandum of Understanding (MoU) and Multilateral Mutual Recognition Agreement (MLA);

5. Successfully passed the peer review and proved that it meets the requirements of becoming a member of IATCA MLA as an auditor registration institution;

6. As an auditor registration institution, IATCA MLA has been signed.

7. This shows that it continues to meet the requirements of the guidelines.

The two quality management system auditor levels recognized by IATCA are IATCA quality management system auditor level and IATCA quality management system senior auditor level. As a member of IATCA-MLA, CCAA has the right to use the abbreviation mark of IATCA when registering auditors who meet the requirements of IATCA.

All IATCA members recognize that auditors who have obtained the qualification of IATCA-level auditors have the ability to conduct audits or lead audit teams according to their registration level. This recognition will make it unnecessary for auditors to seek multi-party registration.

CCAA- Auditors registered by the International Association of Accountants only show the ability of individuals to engage in auditing. The CCAA- IATA registration system does not confirm the range of technical capabilities that individuals may have. When auditing a specific organization, it should still be the responsibility of the relevant parties responsible for managing the audit process to confirm whether the auditor has the knowledge and understanding required by the technical environment of the audit.

All CCAA documents are published in Chinese. The Chinese version of CCAA document marked with the latest release date is the valid version. The Secretariat of www.ccaa.org.cn will publish the latest version of all relevant guidelines on its website.

This standard directly adopts the format of IATCA standard, and is promulgated and implemented.

transient period

This standard replaces CCAA- 108 Registration Standard for Auditors of Quality Management System (1 Edition).

This standard was implemented on June 65438+ 10/day, 2005.

On June 5438+February 3, 2004 1, CCAA stopped the initial registration and re-registration of CCAA-IATCA QMS auditors according to the registration standard version1;

From June 5438+1 October12005, CCAA implemented the initial registration and re-registration of CCAA-IATCA QMS auditors by adopting the second edition of registration standards;

Before 65438+February 3, 2007 1 day, all CCAA- International Air Transport Association quality management system auditors registered according to version1should complete re-registration according to the second edition of registration standards.

chapter one

1. 1 Introduction

1. 1. 1 This standard is formulated by China Certification and Accreditation Association (CCAA-IATCA) according to IATCA's Evaluation Standard for Auditors of Quality Management System [PL-03-020(R2)] to standardize the audit of CCAA-IATCA's quality management system (QMS). This standard completely covers the IATCA standard, which is the basis and basis for CCAA to participate in the Multilateral Mutual Recognition Agreement (MLA) of IATCA-QMS auditor registration.

1. 1.2 international and domestic auditor registration practice, GB/t19011-2003 and GB/T 1900 1-2000 standards are in

1. 1.3 This standard is divided into two chapters:

A) Chapter 1 Introduction, auditor level and definition.

B) Chapter II Written evaluation, inspection process, inspection subcontracting, evaluator, interview process and acceptable quality management system standards.

1.2 CCAA QMS auditor level

1.2. 1 These standards are applicable to the evaluation of registered applicants and re-registered applicants at the following two auditor levels, as well as the evaluation of internship auditor qualifications:

A.CCAA QMS internship auditor qualification

B. auditor level of CCAA-I ATCA quality management system

C.CCAA-IATCA QMS Senior Auditor Level

1.2.2 The auditor level is awarded to applicants who meet the requirements of CCAA- International Air Transport Association's quality management system auditor registration standard, and they can conduct all parts of the complete quality management system audit as members of the audit team.

1.2.3 The award of senior auditor level has reached the requirements of CCAA-IATCA QMS auditor registration standard for QMS auditors, and shows that they have the required knowledge and skills to effectively plan and manage the audit and lead the applicants of the audit team.

1.2.4 CCAA QMS intern auditor

CCAA QMS intern auditor is a person who meets the requirements of auditor's education experience, auditor training, work experience and quality experience, and is qualified to participate in QMS audit activities under the guidance of level auditors, but can't independently audit.

Note: CCAA QMS intern auditor is not at IATCA registration level.

1.3 definition

1.3. 1 In addition to the following definitions, the terms and definitions in GB/T 19000-2000 are applicable to this standard. The following definitions are also used in this standard:

A) Verification auditor (witness): a person with CCAA QMS senior auditor level or equivalent ability confirmed by CCAAQMS, who witnesses the audit activities of auditors and senior auditor applicants and completes the audit performance report. Note: Certified Auditors are not registered.

B) Audit team:

Two or more levels of auditors who conduct audits.

Note: This definition is a special definition for CCAA- International Air Transport Association auditor registration, which is different from the definition in GB/T1901-2003 standard.

C) Complete the quality management system audit:

It covers all the auditing processes described in clauses 6.3 to 6.6 in GB/T1901-2003 standard, and includes all aspects of auditing in GB/T 1900 1-2000 standard or equivalent QMS alternative standard.

Note 1: This definition is more comprehensive than the complete audit described in Note 5 of GB/T1901-2003.

Note 2: The review of the requirements in Chapter 7 of GB/T 1900 1-2000 standard shall be regarded as a complete review after reasonable deletion. GB/T19001-1994 and GB/T 19002- 1994 standards are also applicable before they expire in 2003.

D) apply for a guarantor:

A person who has a working relationship or business dealings with the applicant and can objectively prove that the applicant has the personal qualities required by the auditor and has the qualification of a level auditor.

E) written evaluation:

Evaluation of the written evidence provided by the applicant to support his application.

chapter two

2. 1 general rules

2. 1. 1 CCAA should have documented procedures for effectively evaluating the applicant's ability according to the requirements of the standards. See the CCAA auditor registration approval procedure for details. The evaluation process should include the following three clear parts:

A) written evaluation;

B) check;

C) confirm.

2. 1. 1. 1 written evaluation: evaluation of the documents provided by the applicant to support its application. The purpose of this assessment is to determine whether the applicant meets the registration requirements of CCAA- International Air Transport Association in terms of education, formal training, work experience, quality experience and audit experience.

2. 1. 1.2 inspection: inspection refers to the independent verification of the applicant's performance and the accuracy of the application materials by using external resources that can provide fair and objective evaluation conclusions during the audit.

2. 1. 1.3 Confirmation: Confirmation refers to additional evaluation activities that CCAA thinks are suitable for effectively evaluating applicants, such as interview or assignment.

2. 1.2 Except for the information that the applicant agrees to disclose (such as the information in the register of registered auditors), the information contained in the application shall be kept confidential. Relevant information in the directory of registered auditors includes auditor's name, employment organization, contact information, registration scope, registration level and registration validity period.

2.2 Written evaluation

2.2. 1 This section describes the process used by CCAA to evaluate written applications, and the tasks and responsibilities of personnel involved in this process.

2.2.2 CCAA shall verify that each applicant meets the registration requirements described in CCAA- International Air Transport Association Quality Management System Auditor Registration Criteria, and check the accuracy and completeness of the education experience, auditor training experience, work experience and quality experience information provided in the application. CCAA shall also evaluate the audit performance report of the auditor applicant and the audit performance report of the senior auditor applicant included in each application (see Article 2.2.4).

2.2.3 Evaluation of education and training experience

2.2.3. 1 The application shall include relevant education and training experience, especially the objective proof of QMS auditor training recognized by CCAA. Proof of appropriate education and training experience includes any of the following methods:

A) Original (returned to the applicant after being audited by CCAA staff, and a copy is kept);

B) A true copy of the above-mentioned original confirmed by the applicant's employment agency;

C) The qualified institution shall confirm that the applicant's certificate is recognized by letter.

2.2.4 Evaluation of the performance reports of auditors and senior auditors.

2.2.4. 1 The auditor-level registration application shall include the audit performance report of the auditor-level applicant provided by the auditor; The application for registration at the senior auditor level shall include the audit performance report of the applicant at the senior auditor level.

CCAA of 2.2.4.2 shall evaluate these reports and confirm that they have been completely completed and signed by the verification auditor. CCAA should also confirm that the applicant has achieved satisfactory performance in all aspects of auditing the auditor's report.

Audit performance report of 2.2.4.3 auditor-level applicants.

2.2.4.3.1The audit performance report shall at least evaluate the applicant's performance in the following aspects:

A) knowledge of auditing standards (GB/T 1900 1 or its alternative standards);

B) Ability to effectively review documents;

C) Application of knowledge and skills in on-site audit;

D) Ability to explain the application of auditing standards (GB/T 1900 1 or its alternative standards);

E) Ability to communicate effectively with the auditee and other members of the audit team;

F) Develop the ability to discover and write audit reports;

G) Personal qualities specified in Article 1.4 of the auditor registration standard;

H) A description of whether the applicant is suitable for registration as an auditor.

Audit performance report of applicants at senior auditor level in 2.2.4.4.

2.2.4.4.1The audit performance report shall at least evaluate the applicant's performance in the following aspects:

A) Ability to plan the audit process, including the resources required for the audit;

B) Ability to manage on-site audit and satisfy the auditee;

C) Ability to effectively manage the audit team;

D) Understand the management process of the auditee;

E) Ability to communicate audit findings and prepare audit reports.

F) A statement on whether the applicant is suitable for senior auditor level registration.

2.2.5 Verify the auditor's responsibility to complete the audit performance report.

2.2.5. 1 The verification auditor assigned to witness the performance of the applicant has the following responsibilities:

A) When evaluating the performance of the applicant, identify any potential conflicts of interest, and communicate with the applicant, the applicant's employment agency (if applicable) and the agency appointing the certification auditor (if applicable);

B) Ensure that an impartial audit performance report can be provided;

C) Witness the implementation of the audit, and comprehensively use the methods of consulting relevant documents, observing and talking with the applicant to evaluate whether the applicant is competent for the ability required by Article 2.2.4 of this standard;

D) Provide the audit performance report to the applicant and/or the applicant's employment agency in the format required by CCAA.

When carrying out these witness missions in 2.2.5.2, the auditing auditor:

A) It may or may not be a member of the audit team, but in any case, its work should focus on the evaluation of the applicant's audit performance;

B) Comply with CCAA Code of Conduct for Auditors;

C) Only evaluate the ability and performance actually witnessed by the applicant when auditing all aspects of GB/T 1900 1-2000 standard or equivalent QMS alternative standard;

D) The evaluation of document review and audit report activities can be completed outside the audit site.

2.3 inspection process

2.3. 1 Check resources

2.3. 1. 1 CCAA shall be inspected through the following channels:

A) Auditors (witnesses) who have completed the audit of performance reports, and/or other audit team leaders who have not witnessed the audit experience;

B) auditee;

C) the applicant's employment organization.

2.3. 1.2 When the applicant is promoted from the auditor level to the senior auditor level, he only needs to pass the above 1) and 2).

2.3. 1.3 CCAA shall keep records of inspection activities. When CCAA cannot obtain relevant information from all the above channels, it shall explain the reasons and put it on record. In this case, CCAA shall determine that the method used to check the accuracy of the evidence submitted by the applicant is appropriate.

Each application can be reviewed by telephone conversation, fax, email and/or interview. For each initial registration and promotion application, the following contents should be checked:

A) Experience in quality management system: including experience in implementing, operating and/or auditing the quality management system;

B) Basic working experience, including:

? The business nature of the work unit;

? Date of employment;

? Obligations and responsibilities during employment.

C) Review experience submitted at least twice. These two audits should be different from those witnessed by the auditor applicant's audit performance report and the senior auditor applicant's audit performance report. The inspection of audit experience shall include the following information:

? The ability of the applicant at each review stage;

? Personal qualities (refer to article 1.4 of CCAA-IATCA QMS auditor registration criteria);

? Audit date and on-site audit time;

? Quality management system standards used;

? Audit category (such as full or partial audit);

? Consistency of audit activities with GB/T19011-2003 standards;

? The role of the applicant in the audit;

? Number of auditors in the audit team;

? The name of the audit team leader;

? Audit type (first-party, second-party or third-party audit).

2.4 Inspection Subcontracting

2.4. 1 QMS auditors' employing institutions (such as certification bodies) can be based on the above standards. Inspection method? Check the full-time auditors and part-time auditors of the affiliated institutions. But this can only be achieved after CCAA agrees. Such review records and related materials shall be disclosed to CCAA.

2.4.2 This arrangement shall be carried out according to the contract signed between the institution and CCAA, and the contract shall specify the specific responsibilities of subcontracting work. In this case, CCAA can accept the subcontractor's self-inspection results instead of CCAA's corresponding evaluation process.

2.4.3 The institution that signed the contract with CCAA should have documented procedures to ensure that its evaluation of the applicant can be effectively implemented.

2.4.4 The institution signing the contract with CCAA shall designate a senior manager recognized by CCAA to manage the inspection process, including confirming and signing the inspection contents in the application.

2.5 Evaluator

2.5. 1 Registration evaluation shall be conducted by trained personnel with experience and basic knowledge who can conduct fair and objective evaluation. Evaluators can be volunteers or CCAA employees or contractors.

2.5.2 CCAA shall ensure that all evaluators have appropriate qualifications and received necessary training, so that they can make a reasonable judgment on whether the applicant's qualifications and experience meet the requirements of CCAA- International Air Transport Association.

2.5.3 Each application for auditors of different levels shall be reviewed by two auditors in one of the following ways:

A) Work independently and then resolve differences in decision-making;

B) One of the appraisers reviews the work of the other appraiser;

C) Work in the form of an evaluation team.

2.5.4 CCAA shall formulate written procedures for selecting and training evaluators to ensure their ability to evaluate applicants. For details, please refer to CCAA auditor registration and approval procedures.

2.6 interview process

2.6. 1 CCAA will organize an interview evaluation for the auditor-level applicants registered for the first time, and verify the applicant's work experience, auditor training experience, education experience, quality experience, personal quality and auditing ability and any other requirements related to the registration standards, and verify the accuracy of the application information.

2.6.2 CCAA should have written procedures for selecting and training interviewers, as well as procedures for conducting interviews. See CCAA auditor interview evaluation procedure for details.

2.6.3 In the process of interview evaluation, the following contents should be considered:

A) Select and train interviewers;

B) Time, place and duration of interview evaluation;

C) A pre-drawn list of information obtained from the applicant;

D) Method for reasonably determining that the applicant has knowledge, ability and personal qualities related to the quality management system audit;

E) methods for publishing interview evaluation results and notifying applicants;

F) the procedure of the applicant's appeal.

2.7 acceptable quality management system standards

2.7. 1 The audit experience of obtaining and maintaining CCAA registration qualification shall be conducted according to the acceptable QMS standard, namely GB/T 1900 1-2000 (GB/T190012-in 2000) These standards and normative documents should be accurate enough to ensure that audit experience based on these alternative standards can be easily converted into audit experience based on GB/T 1900 1-2000 standards.

2.7.2 CCAA shall have written procedures for approving acceptable substitution standards. See CCAA Substitution Standard Evaluation Form for details. Alternative standards may include (but are not limited to) ISO certification body guidelines, national/regional management system standards and industrial industry standards.

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